James B. Stuart
Professional summary
James Brett Stuart was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial advisor and started their career in finance in 1998. Prior to being barred, James had worked at 9 firms, which includes RICHFIELD ORION FINANCIAL ADVISORS INC., RICHFIELD ORION FINANCIAL ADVISORS LLC, RICHFIELD ORION INTERNATIONAL INC., INTERVEST INTERNATIONAL INC., INTERVEST INTERNATIONAL EQUITIES CORPORATION, CORE ASSET MANAGEMENT LLC, M HOLDINGS SECURITIES INC., SECURITIES SERVICE NETWORK LLC, EDWARD JONES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2009 - October 12, 2010
RICHFIELD ORION FINANCIAL ADVISORS, INC.
July 21, 2008 - December 31, 2009
RICHFIELD ORION FINANCIAL ADVISORS, LLC
December 10, 2007 - November 3, 2022
RICHFIELD ORION INTERNATIONAL, INC.
January 13, 2005 - May 3, 2007
INTERVEST INTERNATIONAL, INC.
December 13, 2004 - May 3, 2007
INTERVEST INTERNATIONAL EQUITIES CORPORATION
June 4, 2002 - January 13, 2005
CORE ASSET MANAGEMENT, LLC
April 24, 2002 - December 14, 2004
M HOLDINGS SECURITIES, INC.
February 18, 1999 - November 21, 2001
SECURITIES SERVICE NETWORK, LLC
March 11, 1998 - October 21, 1998
EDWARD JONES
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 55
Date: 9/28/2001
Limited Representative-Equity Trader ExamCurrent firm
No current employment
Red Flags
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